The Fiue Functions of the I'awYer
6
THE FIVE FUNCTIONS OF THE LAWYER Arthur T. Vanderbilt Many lawyers fail to attain full growth. Indeed, many of them never glimpse the vision either of what is rightly expected of the legal profession or of them individually. For them, alas, their responsibilities begin and end with serving their clients and for them the law is only a set of mechanical rules which they attempt to manipulate for the interests of their clients. A lawyer with such an outlook on his profession is not likely either to attract clients or to serve them well, nor will he ever enjoy the solid and durable satisfactions that come from a well-rounded, complete life in the law. What, then, are the functions of a great lawyer? l. First of all, a truly great lawyer is a wise counselor to all manner of rnen in the varied crises of their lives when they most need disinterested advice. Effective counseling necessarily involves a thorough-going knowledge of the principles of law as they appear in the books and as they actually operate in action. In equal measure counseling calls for a wide and deep knowledge of human nature and of modern society. Most difficult of all, truly great counseling calls for an ability to forecast the trends of the law. Very often what the client really wants to know is not what the law is today but what it will be at the time the problem under discussion is likely to come up for adjudication in the courts. This is what Mr Justice Holmes had in mind when he said, .prophecies of what the courts will do in fact, and nothing more pretentious, are what I mean by the law.'This may not have seemed pretentious to Holmes, but what profession dernands greater skill in meeting its obvious requirements?
2. Next, the great lawyer is a skilled advocate, trained in the art of prosecuting and defending the legal rights of men both in the trial courts and on appeal. Unless a lawyer has had experience as an advocate, it is difficult to see how he can be a thoroughly competent counselor, for he will not be able to evaluate his client's cause irrterms of the realities of the courtroom. It is in the courtroom that the law is 98
99
upplied to concrete facts in specific cases, and it is the advocates who, wilh the judges, in the last analysis set the course of the law' Advocacy is the most intensive work a lawyer is called on to do. It in was not until I was fifty that I began to understand that the decision
to be written with the lifeblood of some la*y"r. Advocacy is not a gift of the gods. In its trial as well as in its .pp.ltut" aspects it involves several distinct arts, each of which must bi studied and mastered. No law school in the country, so far as I know, pays much attention to them. Indeed, it seems to be blithely arru*"-d with disastrous results that every student corning to law
€very great case is likely
school is a born webster or choate. clearly somewhere in the course of his professional training our complete lawyer must learn the arts of advocacy. 3. Th; third task of the great lawyer is to do his part individually and as a member of the organized Bar to improve his profession, the courts and the law. As President Theodore Roosevelt aptly put it, .Every man owes some of his time to the upbuilding of the profession to which he belongs.' Indeed, this obligation is one of the great things which distinguishes a profession from a business. The soundness and the necessityof President Roosevelt's admonition insofar as it relates to the legaiprofession cannot be doubted. The advances in natural science and iechnotogy are so startling and the velocity ofchange in business and in social life is so great that the law along with the other social sciences, and even human life itself, is in grave danger of being extinguished by new gods of its own invention if it does not awake fromlts lethargy. A I'ew law professors have pondered long and hard on these problems, but the law schools by and large have done nothing ubo,rt th. matter beyond an occasiohal unpopular and generally ineffective course in legal ethics' - a. In a free society every lawyer has a fourth responsibility, that of acting as an intelligent, unselfish leader of public opinion-I accent
the q-ualities'intelligent' and'unselfish'-within his own particular spheie of influence. In our complicated age sound public opinion is more indispensable than it ever was; without it even courageous leadership may fail. Did not President Franklin D. Roosevelt warn us Harbor, in his as early as Ociober 1937, over four years before Pearl did not the And quarantine speech in Chicago, of the dangers ahead? his condemn n.*rpup.., of both parties throughout the country in Lindbergh .p".Ch as warmongering? And did not Charles II War World of February 1939, over six months before the outbreak 30'000 seen actually in Europe, warn the English that he had him warplanes in Germany? And did not the English practically drive
100
The
Law and Language
from the country for telling them, for merely telling them, a fact that was of supreme importance to their individual welfare and to their survival as a nation? How different might history have been and our life today, if only one American lawyer in each city had written a letter to his paper or made a speech supporting the President or if an English barrister in each community in his country had reminded his contemporaries that Lindbergh was undoubtedly an expert on airplanes and that he could certainly count to 30,000? No individual class in our society is better able to render real service in the molding of public opinion. 5. Finally, every great lawyer must be prepared, not necessarily to seek public olfice, but to answer the call for public service when it comes. The attorney whose professional thoughts begin and end with his own private clients is a pitiable mockery of what a great lawyer really is. Training for public service is a lifelong career. There is no sadder sight in the legal profession than that of a lawyer who has long dreamed of unselfish public service but who has been so engrossed in serving private clients ihat when the call does come to him for a public career he has so lost contact with the spirit and problems of the day that his efforts in the public interest prove abortive. What should have been a crown oflaurel frequently turns out to be one ofthorns. These five---counseling, advocacy, improving his profession, the courts and the law, leadership in molding public opinion and the unselfish holding of public office-are the essential functions of the great lawyer. Education in these five functions of the lawyer is partly the province of the college, partly the duty of the law school, but in large measure it is the responsibility of the individual lawyer not only while in law school but throughout his working years. This is
practicing law practicing.
in the grand manner-the only way it is worth I
These are days ofgreat debate concerning whether the law schools
are doing their part in preparing their students for the profession. Chiefly, the debate rages around whether the law schools should teach not merely the 'what' and the 'why,' but also the 'how' of the law just as the medical schools teach the 'how' of medicine and surgery. I must not engage in that debate, but I do venture to say that the law schools generally are not doing what they should be doing to
prepare their students for the third function of the lawyerimproving his professioni the courts, and the law. I shall limit my remarks to a single phase of this responsibilityimproving the work of the courts. Is it not the responsibility of the law schools to teach procedure with due regard to the realities of the law?
When
Fioe Functions
of the
Lawyer
I was a law student, the teaching of the procedural
l0l law was
limited to common law pleading and evidence. All I can remember from our study of demurrers, traverses, pleas in confession and avoidance, novel assignment and departure (the chief topics we studied) is that it was demurrable to plead that one threw a stone gently, but that it was not demurrable to plead that the events alleged occuired on the Island of Minorca, to wit, at London, in the parish of St. Mary le Bow in the ward of Cheap, provided one did it under a uidelicett All of this seemed to me then and, after thirty-four years of practice largely in the courts followed by some years on the Bench, still seems to me an utterly inadequate preparation for understanding what is going on in the courts today. The course in evidence was devoted io t"itittg us how to keep evidence out of the case, but what I needed when I first went to court was someone to tell me how to get it
in! What the law student most needs in these days when the courts are
so much under attack is to be told quite frankly, first, of these shortcomings and, second, of his responsibility for correcting these shortcomings. The picture has never been painted so well as by Dean Pound in his memorable address at the American Bar Association meeting in St. Paul in 1906, concerning "The Causes of Popular Dissatisfaction with the Administration of Justice'" You should first
read Dean Wigmore's moving introduction to this speech, written thirty years afterwards, to get its full significance' If I had my way, I would make it prescribed reading once a year for every judge, practicing lawyer and law professor and law student on the day he
returns from his summer vacation and starts
a new year of
professional activity. It should be added that since 1906 the American Bar Association has made honorable amends for its reception of Dean Pound's speech by furnishing the leadership that has brought about the drafting and promulgation of the Canons of Professional and Judical Ethics. It has led the fight against Theodore Roosevelt's campaign for th recall of
judges and
of judical dccisions, raised the standards of
legal
education throughout the country, agitated for years for the Federal Rules of Civil Procedure, opposed President Franklin D. Roosevelt's proposal for packing the United States Supreme Court, aided in the establishment of the Administrative Office of the United States
Courts and in the movement for the promulgation of the Federal Rules of Criminal Proceduie, and brought about the passage of the Federal Administrative Procedure Act. What can the lawyer, what can the law school student do about
I.AL
F{
102
Law and Language The Fiue Ftnctions
improving the administration ofjustice? Well, the first and greatcst complaint against the courts is what is known, euphemistically, as the law's delays. I say "euphemistically," because the ..law's delays" is the polite phrase for the delays of judges and lawyers. While I am going to speak principally about the delays ofjudges, let me say that it is the delays of lawyers that are largely responsible for delays of
judges.
Now, what can we do about the delays of the law?.Well, those delays are of three kinds. The most irritating delay of all to the lawyer and the layman alike is the delay of the judge in getting on the bench on time in the morning. The jurors have to be there, the lawyers have to be there, and so do the litigants, the witnesses, and the newspaper
reporters---€verybody except the judge. I am speaking only of my own state in the old days, and there are some New Jersey lawyers here who know I am not exaggerating. You could hear peals ofiaughter emanating from the judge's chambers, and when His Honor emerged about halfan hour later, he would very seriously tell us he had been detained by important work in chambers. But you knew, despite his solemn assurance, that he had been listening to some story-teller recounting the jokes he would tell in his next speech. How did we in New Jersey get away from that sort of delay? Our Supreme Court used to start at ten-thirty, so we concluded that if we set an example by starting at ten o'clock at the state capitol, there would be no reason why every trial judge should not get on the bench by ten o'clock in his county. In short, a good example overcame that
kind of delay.
The second kind of unnecessary delay is in getting cases on to trial after the pleadings and the necessary preliminaries in preparation for the trial are complete. Almost everywhere you will hear the cry, ..But we need more judges." Well, that may be true now and then, but I think in most states you will find that there are enough judges if the chiefjustice is authorized to shift the trialjudges from court to court as needed. There are always counties where there is not as much business as in other counties; there are always courts in the larger counties that are not as busy as some other courts in these counties. Accordingly, the first thing you need to do to overcome delay in getting cases on to trial is to give the chiefjustice or a presiding judge the power to assign the judges where they are needed, and to the kind of work, moreover, that they are best fitted to do. Of course, there is nothing more detrimental togood judicial work than assigning a judge who is good with a jury-whether in civil orcriminal work-to equity work that he doesn't enjoy, and vice versa.
of the Lawyer
103
The second result from the power to assign judges is that-and this is something you will have to take on faith because it doesn't sound
possible until you see it tried-if you have Judge A sitting in Courthouse A and Judge B sitting in Courthouse B, each operating from a separate list of cases, they will try a certain number of cases. Yet if you put Judge A and Judge B in the same courthouse and let them operate from a common list, they will try half again as many cases as they did sitting alone in different courthouses. You can continue the process up to the limit of trial judges available, the number of courtrooms available and the number of trial lawyers available. There is something about having a,lot of judges working together on an active integrated list that makes for the rapid disposition of cases. Don't ask me why it is so for I don't know, but I do know that it is so. It works that way.
But the right to assign judges alone will not clear up court congestion. To that you must add pre-trial conferences.
The pre-trial conference is an institution that is probably more misunderstood that anything else in our procedural law. In its fully developed sense it means that after the lawyers on each side of a case have consulted with each other about the issues of law and fact in the case, they come before the judge in open court. The judge, having
looked over the pleadings and listened to each side's outline of its case, proceeds to state the issues, shaking out of the case any nonessentials in the pleadings. He then proceeds to discuss with the attorneys what proofs may be stipulated. He asks, "What documents are you going to introduce in evidence?" Ordinarily there is no dispute about such documents; accordingly they are produced and given a number in evidence, so that they will be ready for presentation at the trial without calling the attesting witnesses. In automobile negligence cases, the ownership ofthe car and the agency ofthe driver are generally stipulated and likewise the damages to the car, when the
main issue is liability for damages to the person of the plaintiff. , This process of consultation results in a pre-trial order which defines the issue, provides for any necessary amendments to the pleadings and states the admissions of each side. It is dictated in open court and signed by the judge and the lawyers. The remarkable thing about it all is that at the end of a pre-trial conference very often the plaintiff's lawyer for the first time really understands the plaintiff case. This statement is not meant to be humorous because the cas, may not have been prepared by the plaintiff's lawyer at all but by some bright young man in his office. It is highly desirable, you see, that the plaintiff's lawyer should know his case before he attempts to
104
Law and Language The Fioe Functions
try it, and that is one ofthe good results ofpre-trial conference. For the first time, too, he gets a proper perspective on the defendant's case.
Likewise the defendant's lawyer for the first time gets a true concept of his own and his adversary's case. Suddenly it dawns on each of them that instead of this being a case that the plaintiff can't
lose or the defendant can't lose, it begins to be one that has a mon€tary value in terms of a settlement. But that is not the most important result of a pre-trial conference, for month in and month
out, in every'county in our state-metropolitan, suburban and rural-three quarters of the cases are settled between the date of the pre-trial conference and the date when the case goes to trial two weeks later without the judge saying a word about settlement. But, settlements are not the most important thing about pre-trial conferences, nor the fact that they shorten the trial of cases from a third to a half. The great, important thing about pre-trial conferences is that the judge knows what the case is about from the beginning. If it involves some proposition of law that he is not familiar with, he can order briefs in advance, so that before the trial starts he will know as much about the law of the case as the lawyers do. That, as you sbe, also helps the lawyers because otherwise they would not prepare their briefs until some later date, hoping to avoid their preparation. Thus the assignment of judges where needed and the holding of pre-trial conferences are simple ways of avoiding delay in getting cases on to
trial. The third great cause of the law's delay comes after the case is tried and the judge says the fatal words, "I will take the matter under advisement." I have waited in the old days two years, four years, six years, eight years, ten years for decisions in our Court of Chancery. We have had a lot of Lord Eldons in New Jersey. They were aided and abetted by many a prospective Lord Eldon at the Bar, who would wait until the end of the case, and then would say, "Your Honor realizes now that this is a complicated case, and I would like to submit
a brief to help Your Honor. I would like a month's time." The defendant would want a month for an answering brief, and the plaintiffat least two weeks for a reply brief-two and a half months in all. The judge would push the case aside, and all of it would disappear from his mind as he went on to the trial of other cases. I submit that a trial judge will never know as much about the case he is trying as he does after he has read the trial briefs, after he has heard the evidence and after he has listened to the argument of counsel. Then, if ever, the moment of decision has arrived. If he lets it
of the Lawyer
105
go until the next day, he is going to start off on a new case, and then another case and then still another case, and each case he tries will render the facts of the indicated case still dimmer in his mind. Thus, in my state we have a rule that the lawyer must file their briefs in advance. If the judge doesn't decide the case within twenty days after oral argument, he must indicate the reason on his weekly report.
And here is a strange bit of judicial psychology----€ven the hardestpressed judge would rather write out an opinion than to write down in his report some reason why he hasn't decided the case. Thus, almost all cases are decided promptly and the law's unnecessary delays, as we
have seen, are easily avoided. Next to the law's delays, nothing irritates the public as much as decisions based on technicalities of procedure and pleading. How can we prevent such decisions which fail to dispose of the controversy on its merits? Well, the easiest way to eliminate them is to allow your court oflast resort to make the rules ofprocedure rather than to have a legislative code. Ifthere is a code, thejudges feel that they are bound to follow the code literally and exactly. If there are judicial rules of procedure instead of a code, they are not only likely to be better designed for litigation, but they are made by judges and they will be interpreted by judges. They always contain, or at least should always contain, a provision that the purpose of the rules is the advancement of justice and the prevention of delays and that they are to be construed to that end with the privilege of waiving
them when they would work injustice. Rules of court make for avoiding decisions on technicalities. The rule-making process must be a continuous process, and there should be some body in the state, either a judicial conference or a judicial council, which reviews the rules annually to see if they can be improved in the light of experience. Most of all in this country we necd to give the trial judge real power. Believe it or not, there are over twenty-five states in the Union where the trial judge is not allowed to comment on the evidence, where he is not allowed to ask questions even though neither plaintiff's nor defendant's counsel has brought out what the judge sees is the pertinent fact concerning which a particular witness should testify. [n these states the judges are not allowed to sum up in their own language to the jury, but, on the contrary, they take their instructions from either one or the other ofthe trial counsel, and that is called a charge. Also, in these states, just to make sure that reading these written instructions doesn't amount to anything, the code of procedure provides that the judge must give his charge before counsel for the
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Law and Language
The Fiue Functions
defendant and counsel for the plaintiff sum up to the jury. Now, if I were to stand here and mumble seven or eight typawritten pages of legalistic requests to charge and that was to be followed by two impassioned addresses by other lawyers, I submit that no jury would remember a single word that I had said. They would merely remember that the other lawyers had said it all better than I had because they had been talking to them and I was only reading. This putting of the trial judge in a strait jacket o@urs in over one halfofour states. lfyou come from one ofthese backward states, one of your first jobs is to make your professor of procedure conscious ol' that fact, because he is probably taking it for granted that that is a necessary and natural way to try a case. You can'begin to improve the work of your courts right away by asking, "Why cannot we give our trial judges real power as they do at common law and in the federal courts and in many of the states?" Another major cause of complaint about our courts is thc occasional bad manners ofjudges. Some judges are just constitutionally cross-grained. They never should have been permitted to get on the Bench, and there should be some method devised for getting rid ol them. One of the things that makes judges irritable, I am told, is thc pressure of work. When a judge is conscious that he has twenty-five or thirty cases undecided, how can he be cheerful when he says, "Good morning"? He just can't be, because he has missed the moment ol decision in those twenty-five or thirty undecided cases, and he realizes that he will never do as well as he might have done in these cases. Another thing that makes some .iudges irritable is the consciousness that they are subject to political pressure. We all like to be frec and independent, but ifyou happen to be an unfortunatejudge who is subject to politics-and I have had judges tell me that they know what that means-that makes for bad manners. So the thing to do is to get rid of political pressure. That brings us right to the heart of the matter. To have gootl judicial administration, to have good judges, you need judges whrr know the law, you need judges who can think, you need judges whtr can express themselves, you need judges who are diligent, you nectl judges who are honest, and you need judges who the public believcs
are honest. Those are all reasonable qualifications, and yet in :r national poll taken not too long ago, 28 per cent of those questionctr said in so many words that they did not think that their local antl county judges were honest. I know that these 28 percent are wrong
their impressions of their judges-I would stake my life on
rrl
that
statement-but the fact that the public thinks they are dishonest
rs
just
as
fact
so.
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107
bad from the standpoint ofrespect for the law as ifthey were in
Why does the public have that notion? Obviously, it gets the notion because your local policejudges, your localjustices ofihe peace, and
your county judges in many states are forced to run for election on a partisan ticket. They travel around with the candidate for governor, for senator, for Congress, ar.d for the state legislat,rr", urrd all the other fellows running for election, and they attend political meetings, dinners and clambakes. How can the people think the judge is aiy different from all the rest of the politicians who are running for election? Those who are informed know that the county judge is the smartest of these politicians and probably is planning the whole campaign. Indeed, in certain states it is admitted by everybody in the county that the county judge is the unofficial head of the dominant political party. In fact, if he isn't, he isn't going to be re-elected when his term expires. That is how the public gets its notions about its local judges who run in political primaries and elections. Does it not suggest to us that in every state we should carefully examine the method of the selection ofjudges-and that goes for th! appointed judges as well as elected judges? If the governor is not supported and buttressed by the strong opinion ofthe Bar to appoint
the right kind of judges, you won,t ordinarily get them UV tt
appointive process any more than you will through partisan elec-" tions. But we need more than good judges. We alsoneid jurors who are representative ofthe honest and intelligent citizenry ofthe county if the fact finding of our courts is to be done properly. These are some of the pressing problems in the administration of justice that you should keep in mind in law school as well as in practice.
our system of popular government cannot survive without a clear recognition of the supremacy of law. Sound procedure in the courts is quite as important as sound substantive law. These problems all relate to improving the administration ofjustice, but thire are many other equally important points relating to the betterment of th! profession and the adaptation of our substantive law to the needs of the times that should engage your attention from your earliest days in law school. Above and beyond all that, you need to cultivate from the beginning an aitive and intelligent inteiest in public affairs if you are to be great lawyers, so as to qualify as leaders of public opinion and cventually as our leaders in public office. Interest and action with respect to all of these matters are essential to the great lawyer, and the desired results are all attainable if you
108
Tke
l-uw and Language
pursue the law in the spirit of quotir;g him:
Mr
Justice Hotrmes. I-et me end by
Law is a business to which my life is devoted, and I should show less than devotion if I did not do what in rne lies to improve it, and when I perceive what seerns to rne to be the ideal of its future, if I hesitated to point it out and press toward it with all my heart.
/
F{olmes / heumz / Oliver Wendall (1E41-1935) Associate Justiee ol the t-lS Supreme Court (1902-32) pretentious / prr'tenfas / clairning great rnerit or irnportance aclvoeacy 1 'eelvaleasr / pleading in suppont of, a cause appellate / a'pelu / conceming appeais Lrtithely i 'blar6ln i happily, joyously Webs{.er / 'wrbsta(r) / Danietr (1?82-1S52} American statesnna,l; and orator Theodore F.ooseveit / 'Srada: 'rauzovelt / (1E58-1919) 26 Fresic{ent of the {.J.S.,A,., a repuhlican (190i*9) acirnonition / adnra'nrJn i warning
startling I 'sta:tlq I greatty strocking veloclry 7 va lnsatr 7 speed lethargy / 'ie0od3r f lazy state of rnired
pondereei
/
'pnnctecl
/
cr:nsidered; tkrought over
Franklin D. F.oosevelt / 'fraeqktrn 'reDzevelt / (1SS2-1945) 32t, grresidemt of ttae {-1.S.,4.., a dentocrat (1933-45) Fearl F"{arbor I pr:l ha:be(r} / a LrS naval b,ase'ri F{awa".'ii ::L -Iapanese at.taeked it on ?th Dece{nber i94l without warning ar 'r destroyed a large part ol the {.lS Facific fieet. As a result the {Ji ''i' entered thc Second Worid War. j quaranfine speech / 'kwnronti:n spi:t$ / a speech in wh,i' ir Fresident Roosevelt asserted that war was a contagion, which iiir' disease ru.ust he quarantined by the Xnternational comnnu;i l, iquaranfine : isolatc as a precaution against eontagiou$ disei, ,, warlraongcrimg / 'wo: InArJgsrIB I advoeating or stirring up v'
/
engrossed
'mokarl
/
/
'mgraust
bad or conternptible example
/
fuliy occupied
i
dr'rna:raz
/
i
reward of success
legalobjectionstoretrevanceofopponent's
point even if granted, which stays action till relevance is settled traverses / 'trevs:stz / denials especially of allegation of matter of
manage skilfutly or craftily, esp. h'1, using one's influence or unfair methods eounselor /'kaonsla(r) / adviser adjudicatiein / adgu:di'ker$n / giving a judgment or decision upcn naa'nry.lule$
109
as another
mockery
demurrers
'[.. Vocabulary
/
af the l-awyer
'lmba:g I 0902-1974) US aviator' He Charles Lindbergh | 't[a:lz made the first solo ffight of the Atlantic (1927) conternporaries I kan'temprari:z / persons living at the same time
abortive / a'bc:trv / unsuccessfui crown of laurel / kraun ev 'lo:rel rages / 'rerdgrz / is at its height
ExBncrsns
nnanipulate-
Fioe Functions
t
fact pleas / pb:z I staternents nnade by or for a per$on charged in a law co{rrt avoidance / e'vsldans i rneeting one's opponent's pleadings by new matter assignrnent / o'salnmsnt / the transfer to another of one's legal interest or right, esp. the transfer ofproperty to be held in trust on to be used for the benefit of creclitors departure / dr'pa:tia(r) / the elesertion by a party to any pleading of the groun
promulgation
/
grncmal'gerJn
/
announci.ng
offrcially, making
public rc'call / rr'kc:l / eall to return cuphemistically I ju:fe'rnlstildl i as a substitutiom of rniid or indirect words for harsh or direct ones litigants / 'lrtryents f perscns engaged in a iawsuit pcals / pi:\z I loud volleys of sound cmanating / 'ennonertrq / eorning, fiowing {from) county I 'kauntr / sutrdivision of a state; the largest tenit of local governnaent
dctrirnental
/
detrl'mentat
/
hannful
